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Institutional Investment Manager
Ground Swell Capital, LLC
Ground Swell Capital, LLC (CIK: 0001534450) incorporated in South Carolina, located at 105 West Huron Avenue, Folly Beach, SC. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q2)
Original 13F HR (0001420506-14-000311) filed in 2014.08.14
#
Name
Shares
Value ($)
%
Options
Notes
1 IKANOS COMMUNICATIONS INC 1 0 0.00%
2 Apricus Biosciences, Inc. 1 2 0.00%
3 COEUR MNG INC 3 3 0.00%
4 SMTC CORP 2 4 0.00%
5 MAJESCO ENTERTAINMENT CO COM PAR NEW 3 7 0.00%
6 MEDGENICS INC 1 8 0.00%
7 BG Medicine, Inc. 8 8 0.00%
8 NEUROCRINE BIOSCIENCES INC 1 15 0.00%
9 TILE SHOP HLDGS INC 1 15 0.00%
10 OPTICAL CABLE CORP COM NEW 4 16 0.00%
11 INFOSONICS CORP 8 19 0.00%
12 OSSEN INNOVATION CO LTD 20 20 0.00%
13 CAROLINA TR BK LINCOLNTON NC 4 20 0.00%
14 Radnet Inc 3 20 0.00%
15 BODY CENT CORP 23 20 0.00%
16 ROI ACQUISITION CORP II 60 21 0.00%
17 Ultrapetrol (Bahamas) Ltd 7 21 0.00%
18 REALPAGE INC 1 22 0.00%
19 CADIZ INC COM USD0.01 3 25 0.00%
20 CONATUS PHARMACEUTICALS INC 3 27 0.00%
21 Pacific Sunwear Calif Inc 13 31 0.00%
22 OCERA THERAPEUTICS INC 4 31 0.00%
23 ZBB ENERGY CORPORATION 20 32 0.00%
24 INTELLIGENT SYS CORP NEW 25 34 0.00%
25 STERLING BANCORP DEL COM 3 36 0.00%
26 PUTNAM MANAGED MUN INCOME TR 5 36 0.00%
27 PERMA-FIX ENVIRONMENTAL SVCS 8 37 0.00%
28 PRO-DEX INC COLO 20 42 0.00%
29 CENTRAL FED CORP 29 43 0.00%
30 China Sunergy Co Ltd 13 44 0.00%
31 RENESOLA LTD 15 44 0.00%
32 ATLANTICUS HLDGS CORP 16 45 0.00%
33 VILLAGE SUPER MKT INC CL A NEW 2 47 0.00%
34 METHES ENERGIES INTL LTD 200 48 0.00%
35 ARQULE INC 31 48 0.00%
36 POINT 360 COM 137 49 0.00%
37 WIRELESS TELECOM GROUP INC 20 53 0.00%
38 SELECT SECTOR SPDR TR 1 54 0.00%
39 FIDELITY 2 54 0.00%
40 DIREXION DAILY JUNIOR GOLD 2 55 0.00%
41 LUNA INNOVATIONS 40 55 0.00%
42 ESSA BANCORP INC 5 56 0.00%
43 VALLEY NATL BANCORP 349 56 0.00%
44 DRDGOLD LIMITED 19 56 0.00%
45 NextEra Energy Inc 1 65 0.00%
46 GLOBAL X FDS 5 68 0.00%
47 ORTHOFIX INTL N V 2 73 0.00%
48 IRIDIUM COMMUNICATIONS INC 201 76 0.00%
49 ROBERTS REALTY INVS 100 79 0.00%
50 GRAVITY CO LTD 100 80 0.00%
Page 1 of 39
Restatement filing (0001420506-15-000045) filed in 2015.02.05
#
Name
Shares
Value ($)
%
Options
Notes
1851 FOX CHASE BANCORP INC NEW COM 59 1 0.00%
1852 FORTEGRA FINL CORP 194 1 0.00%
1853 FORBES ENERGY SERVICES LTD 200 1 0.00%
1854 FONAR CORP 50 1 0.00%
1855 SOLAZYME INC 109 1 0.00%
1856 BLUEROCK RESIDENTIAL GRW REI 74 1 0.00%
1857 FLANIGANS ENTERPRISES INC 102 1 0.00%
1858 BLACKROCK STRATEGIC MUN TR COM 108 1 0.00%
1859 BLACKROCK N Y MUN INCOME TR 63 1 0.00%
1860 FIRST UTD CORP COM 159 1 0.00%
1861 SOUTHERN NATL BANCORP OF VA COM 121 1 0.00%
1862 BLACKROCK N J MUN INCOME TR 100 1 0.00%
1863 FIRST TR EXCHANGE TRADED FD 54 1 0.00%
1864 FIRST FINL BANCORP OH 100 1 0.00%
1865 SPARK NETWORKS INC 200 1 0.00%
1866 SPARTAN MOTORS INC 200 1 0.00%
1867 Civista Bancshares Inc 97 1 0.00%
1868 FIRST CAPITAL BANCORP VA 141 1 0.00%
1869 FIRST BK WILLIAMSTOWN NEW JE 200 1 0.00%
1870 First Bancshares Inc/The 100 1 0.00%
1871 FIRST BANCORP N C 41 1 0.00%
1872 FIDELITY AND GTY LIFE COM 56 1 0.00%
1873 SPDR S&P 500 ETF TR 4 1 0.00%
1874 AMERESCO INC 196 1 0.00%
1875 NOVADAQ TECHNOLOGIES INC 88 1 0.00%
1876 NII HOLDINGS INC. CL B 1,842 1 0.00%
1877 NW Biotherapeutics 17WTS 199 1 0.00%
1878 FATE THERAPEUTICS INC 100 1 0.00%
1879 Western Asset Emerging Markets 100 1 0.00%
1880 SPEEDWAY MOTORSPORTS INC 56 1 0.00%
1881 BLACKROCK FLOATING RATE INCO 100 1 0.00%
1882 EXA CORP 79 1 0.00%
1883 EVOLVING SYS INC 167 1 0.00%
1884 EURO TECH HOLDINGS CO LTD 250 1 0.00%
1885 STANLEY FURNITURE CO INC 300 1 0.00%
1886 ESSEX RENTAL CORP 300 1 0.00%
1887 BLACKROCK CORPOR HI YLD FD I 100 1 0.00%
1888 ESPEY MFG & ELECTRS CORP COM 40 1 0.00%
1889 ERIE INDEMNITY CO-CL A 15 1 0.00%
1890 ERBA Diagnostics, Inc. 300 1 0.00%
1891 Enservco Corp 200 1 0.00%
1892 XRS CORP 382 1 0.00%
1893 WESTERN ASSET 90 1 0.00%
1894 ENERGY FUELS INC 200 1 0.00%
1895 ENDOLOGIX INC 66 1 0.00%
1896 STRATEGIC HOTELS & RESORTS I 100 1 0.00%
1897 ENCORE CAP GROUP INC 32 1 0.00%
1898 STREAMLINE HEALTH SOLUTIONS COM 200 1 0.00%
1899 EMPRESA DIST Y COMERCIAL NOR 100 1 0.00%
1900 STURM RUGER & CO INC 15 1 0.00%
Page 38 of 40